We supervise firms and individuals who are regulated by us, and can take enforcement action against those caught breaching our Principles. We have a range of legal powers that enable us to take a variety of different actions according to the severity of the breach and the risk posed to the public and the profession. For example, we can

issue a warning about future conduct

impose a disciplinary sanction, such as a fine

control how a firm or individual practises

refer a firm or individual's conduct to the Solicitors Disciplinary Tribunal

Where a firm has closed it is possible for clients to apply to us for money they have already paid to the firm. We can also return documents to clients; however, we do not reduce or refund legal fees. Please see information on what we do not do, below.

We also make sure that those we regulate are qualified and insured to provide legal services, by

We don't take complaints about solicitors providing poor service; we deal mainly with cases of fraud, misconduct and dishonesty. The Legal Ombudsman is the organisation that handles complaints about poor service. We cannot refund or reduce legal fees. See our information on how to report a solicitor or firm to find out more about the best way to resolve a problem with your solicitor.

Where we fit with other approved regulators

The regulation of lawyers

The Legal Services Board is responsible for overseeing the regulation of all lawyers in England and Wales. There are then eight separate regulators directly regulating the different types of lawyer on a day-to-day basis.

The different types of lawyer, and their approved regulators, are as follows:

Solicitors—regulated by us, the Solicitors Regulation Authority; we also regulate other types of individual and firms

The regulation of firms

The SRA and the Council for Licensed Conveyancers (CLC) have powers to regulate the firms within which different types of lawyer work. The CLC has the power to regulate firms providing conveyancing and probate services. The SRA is able to regulate all types of legal work a firm may deliver, including conveyancing and probate services.

Lawyers are allowed to set up law firms with other lawyers and non-lawyers. This means that, while individuals are regulated by their own approved regulator, the firm for which they work are regulated by either the SRA or the CLC.

Firms are primarily responsible for ensuring compliance with regulators. But individuals within those firms are responsible for their own conduct.